EFTA01463581.pdf

report1375278250600 1 Opportunity Name Customer Name Type Stage Probability Sales Credit Close Date Product Name Actual Assets Recurring Fee Structure BPS/Flat Fee Amount ($) One-time Fee Amount Actual Revenue Approver Approval Status Description Airplane Loan Fitzgibbons, John New Product - New Client Prospecting 0.10 1 11/15/2013 U.S. Structured Lending (Secured) 10000000 0 Sarita Medina Not Reviewed Airplane Finanching Tharani, Haresh New Product - New Client Prospecting 0.10 1 11/12/2013 U.S. Structured Lending (Secured) 10000000 0 Sarita Medina Not Reviewed Black Family Partners, L.P.- Black Family Partners, L.P. New Product - New Client Prop osal 0.50 1 9/26/2013 U.S. Secured Lending (Lombard) 100000000 0 Sarita Medina Not Reviewed Murstein, Alvin- Murstein, Alvin New Product - New Client Developed 0.25 1 9/12/2013 U.S. Secured Lending (Lombard) 50000000 BPS 200 - 1000000 Sari ta Medina Not Reviewed Candover Investments- Candover Investments New Product - New Client Prospecting 0.10 1 11/14/2013 U.S. Letter of Credit 10000000 0 Sari ta Medina Not Reviewed Merit Energy- Merit Energy New Product - New Client Prospecting 0.10 1 11/2 0/2013 U.S. Letter of Credit 10000000 0 Sarita Medina Not Reviewed Avista Avista Capital Partners New Product - New Client Prospecting 0.10 1 8/19 /2013 U.S. Letter of Credit 10000000 0 Sarita Medina Not Reviewed Lime Rock Lime Rock Partners New Product - New Client Prospecting 0.10 1 9/16/2013 U.S. Letter of Credit 10000000 0 Sarita Medin a Not Reviewed Deerpath Capital Management- Deerpath Capital Management New Product - New Client Deve loped 0.25 1 9/24/2013 U.S. Letter of Credit 30000000 BPS 100 300000 Sarita Medina Not Reviewed HG Capital- HG Capital New Product - New Client Prospecting 0.10 1 9/23 /2013 U.S. Letter of Credit 10000000 0 Sarita Medina Not Reviewed Asset Management Purchase Lawrence, Bryan New Product - New Client Developed 0.25 1 9/13/2013 U.S. Letter of Credit 20000000 BPS 200 400000 Sari ta Medina Not Reviewed EnCap Flatrock EnCap Flatrock Midstream New Product - New Client Developed 0.25 1 10/10/2013 U.S. Letter of Credit 10000000 0 Sari ta Medina Not Reviewed Line of Credit Cummings, Ian New Product - New Client Proposal 0.50 1 9/12 /2013 U.S. Letter of Credit 25000000 BPS 100 250000 Sarita Medina Not Reviewed SCF Partners- SCF Partners New Product - New Client Prospecting 0.10 1 11/1 8/2013 U.S. Letter of Credit 10000000 0 Sarita Medina Not Reviewed Medallion Loan Corrigan, Patton New Product - New Client Developed 0.25 1 11/19/2013 U.S. Letter of Credit 25000000 BPS 100 250000 Sarita Medin a Not Reviewed EnCap EnCap Investments New Product New Client Developed 0.25 1 10/1 6/2013 U.S. Letter of Credit 10000000 0 Sarita Medina Not Reviewed Viola, Vincent- Viola, Vincent New Product New Client Developed 0.25 1 11/7 /2013 U.S. Letter of Credit 25000000 BPS 100 250000 Sarita Medina Not Reviewed Credit Line Gottesman, Noam New Product New Client Developed 0.25 1 10/2 2/2013 U.S. Letter of Credit 50000000 0 Sarita Medina Not Reviewed Warren, Glenn- Warren, Glenn New Product New Client Developed 0.25 1 11/2 2/2013 U.S. IA - RCM 50000000 0 Brian Biggar Not Reviewed Fitzgibbons, John- Fitzgibbons, John New Product - New Client Developed 0.25 1 10/17/2013 Standard Mortgage - Floating Arm 4000000 - 0 Diane Minarczyk Not Reviewed Meister, Todd- Meister, Todd New Product - New Client Developed 0.25 1 7/15 /2013 Standard Mortgage - Floating Arm 7000000 BPS 200 140000 Diane Minarc zyk Not Reviewed 6200 Hollywood Deal Schaefer, Marla New Product - New Client Prospecting 0.10 1 7/30/2013 Real Estate Funds 5000000 - O Brian Biggar Not Reviewed 6200 Hollywood Deal Meister, Robert A. New Product - New Client Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 - O Brian Biggar Not Reviewed 6200 Hollywood Deal Cummings, Ian New Product - New Client Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 - O Brian Biggar Not Reviewed 6200 Hollywood Deal Gerschel, Patrick New Product - New Client Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 - O Brian Biggar Not Reviewed EFTA01463581 6200 Hollywood Deal SK Family Office New Product - New Client Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 - O Brian Biggar Not Reviewed 6200 Hollywood Deal Bronfman, Edgar New Product - New Client Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 - O Brian Biggar Not Reviewed - 6200 Hollywood Deal Tharani, Haresh New Product - New Client Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 - O Brian Biggar Not Reviewed - Milton Academy- Milton Academy New Product - New Client Developed 0.25 1 11/1 4/2013 PWM-IA Advisor Select 40000000 BPS 200 800000 Brian Biggar Not Reviewed - Jain, Sunil- Jain, Sunil New Product - New Client Developed 0.25 1 10/1 7/2013 Private Wealth Premium Checking w/Interest 25000000 - 0 Michael Gotimer Not Reviewed - Deposits Bryant Jr., Donald New Product - New Client Developed 0.25 1 11/21/2013 Private Wealth Premium Checking w/Interest 10000000 - 0 Michael Gotimer Not Reviewed - Southern Financial LLC- Southern Financial LLC New Product - New Client Proposal 0.50 1 10/7/2013 Private Wealth Premium Checking w/Interest 100000000 - 0 Michael Gotimer Not Reviewed - M-eister, Robert A.- Meister, Robert A. New Product - New Client Developed 0.25 1 12/11/2013 Private Wealth Premium Checking w/Interest 25000000 - 0 Michael Gotimer Not Reviewed - S-outhern Trust Company, Inc.- Southern Trust Company, Inc. New Product - New Client Prop osal 0.50 1 10/22/2013 Private Wealth Premium Checking w/Interest 100000000 0 Michael Gotimer Not Reviewed Bronfman, Edgar Bronfman, Edgar New Product - New Client Developed 0.25 1 11/1 8/2013 Private Wealth Premium Checking w/Interest 25000000 - 0 Michael Gotimer Not Reviewed - Murstein, Andrew- Murstein, Andrew New Product - New Client Developed 0.25 1 11/13/2013 Private Wealth Premium Checking w/Interest 10000000 - 0 Michael Gotimer Not Reviewed - SK Family Office- SK Family Office New Product - New Client Developed 0.25 1 11/19/2013 Private Wealth Premium Checking 25000000 0 Michael Gotimer Not Reviewed - Zaro, Andrew- Zaro, Andrew New Product - New Client Proposal 0.50 1 10/2 4/2013 Private Wealth Premium Checking 50000000 - 0 Michael Goti mer Not Reviewed - KKR Deal Tharani, Haresh New Product - New Client Prospecting 0.10 1 7/24 /2013 Hedge Funds 5000000 0 Brian Biggar Not Reviewed KKR Deal Jain, Sunil New Product - New - Client Prospecting 0.10 1 7-/23 /2013 Hedge Funds 5000000 0 Brian Biggar Not Reviewed KKR Deal Milch, Neal New Product - New Client Prospecting 0.10 1 7/24 /2013 Hedge Funds 5000000 - - - 0 Brian Biggar Not Reviewed - KKR Deal Gaslow, Peter New Product - New Client Prospecting 0.10 1 7/23 /2013 Hedge Funds 5000000 - - - 0 Brian Biggar Not Reviewed - KKR Deal Britton, Charles New Product - New Client Prospecting 0.10 1 7/15/2013 Hedge Funds 5000000 - - - 0 Brian Biggar Not Reviewed K-KR Deal Cline, Michael New Product - New Client Prospecting 0.10 1 7/24 /2013 Hedge Funds 5000000 - 0 Brian Biggar Not Reviewed KKR Deal Klein, Martin New Product - New - Client Prospecting 0.10 1 7-/24 /2013 Hedge Funds 5000000 - 0 Brian Biggar Not Reviewed CIO Strategies Simon, Richard M. New Product - New Client Developed 0.25 1 10/21/2013 Global Select - Equities/Balanced 25000000 0 Brian Biggar Not Reviewed - Wilson, Welcome- Wilson, Welcome New Product - New Client Prospecting 0.10 1 11/11/2013 Commercial Real Estate 200000000 BPS 100 2000000 Sarita Medin a Not Reviewed - Commercial Mortgage Fitzgibbons, John New Product - New Client Developed 0.25 1 10/22/2013 Commercial Real Estate 5000000 - O Sarita Medin a Not Reviewed - Epstein, Jeffrey- Epstein, Jeffrey New Product - New Client Proposal 0.75 1 11/11/2013 Brokerage (Commissions) 50000000 0 Not Needed Not Reviewed - Petrides, George- Petrides, George New Product - New Client Developed 0.25 1 11/10/2013 Brokerage (Commissions) 10000000 0 Not Needed Not Reviewed - Hyman, Ed- Hyman, Ed New Product - New Client Developed 0.25 1 9/20 /2013 Brokerage (Commissions) 20000000 BPS 0 Not Needed Not Reviewed - Brokerage Account Cummings, Ian New Product - New Client Developed 0.25 1 9/12/2013 Brokerage (Commissions) 10000000 0 Not Needed Not Reviewed - Tharani, Haresh- Tharani, Haresh New Product - New Client Developed 0.25 1 12/13/2013 Brokerage (Commissions) 30000000 0 Not Needed Not Reviewed - Richardson, Julie G.- Richardson, Julie G. New Product - New Client Proposal 0.50 EFTA01463582 1 11/15/2013 Brokerage (Commissions) 30000000 BPS - 0 Not Needed Not Reviewed Britton, Charles- Britton, Charles New Product - New Client Developed 0.25 1 11/20/2013 Brokerage (Commissions) 10000000 0 Not Needed Not Reviewed TOMS Capital LLC- T-OMS Capital LLC New Product - New Client Developed 0.25 1 10/22/2013 Brokerage (Commissions) 50000000 0 Not Needed Not Reviewed Patriot Strategy Partners- Patriot Strategy Partners New Product - New Client Prop osal 0.75 1 11/8/2013 Brokerage (Commissions) 25000000 0 Not Needed Not Reviewed Brokerage Account SK Family Office New Product - New Client Proposal 0.50 1 9/17/2013 Brokerage (Commissions) 25000000 0 Not Needed Not Reviewed Keenan, William Howard- Keenan, William Howard New Product - New Client Developed 0.25 1 10/17/2013 Brokerage (Commissions) 25000000 0 Not Needed Not Reviewed Gaslow, Lawrence- Gaslow, Lawrence New Product - New Client Proposal 0.50 1 10/16/2013 Brokerage (Commissions) 25000000 0 Not Needed Not Reviewed Gaslow, Peter- Gaslow, Peter New Product - New Client Developed 0.25 1 11/1 1/2013 Brokerage (Commissions) 25000000 0 Not Needed Not Reviewed Gerschel, Patrick- Gerschel, Patrick New Product - New Client Developed 0.25 1 11/5/2013 Brokerage (Commissions) 15000000 BPS 100 150000 Not Needed Not Reviewed Brody, Cary- Brody, Cary New Product - New Client Proposal 0.75 1 11/1 2/2013 Brokerage (Commissions) 10000000 O Not Needed Not Reviewed Brokerage Zaro, Andrew New Product - New Client Developed 0.25 1 10/1 5/2013 Brokerage (Commissions) 10000000 O Not Needed Not Reviewed Leidel, Peter- Leidel, Peter - Prospecting 0.10 1 8/31/2013 O Not Needed Not Reviewed - Yorktown Partners LLC- Yorktown Partners LLC - Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed - Heravi, Amanda- Heravi, Amanda - Prospecting 0.10 1 5/31/2013 O Not Needed Not Reviewed Durkin, David- Durkin, David - Prospecting 0.10 1 5/31/2013 O Not Needed Not Reviewed Ireland, Matthew- Ireland, Matthew - Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed Goldman, Budd- Goldman, Budd - Prospecting 0.10 5/31/2013 0 Not Needed Not Reviewed N-ir, Dan- N-ir, Dan - Prospecting 0.10 5/31/2013 0 Not Needed Not Reviewed Taxel, Nelson- Taxel, Nelson - Prospecting 0.10 5/31/2013 0 Not Needed Not Reviewed Alagappan, Arun- Alagappan, Arun - Prospecting 0.10 1 5/31/2013 - 0 Not Needed Not Reviewed - Blatt, Mitchell- Blatt, Mitchell - Prospecting 0.10 1 5/31/2013 _ - 0 Not Needed Not Reviewed - Glimcher, Arnie- Glimcher, Arnie - Prospecting 0.10 1 2/28/2013 0 Not Needed Not Reviewed Kalikow, Peter- Kalikow, Peter Prospecting 0.10 1 5/31/2013 0 N-ot Needed Not Reviewed Kelly, Judy- Kelly, Judy Prospecting 0.10 1 5/31/2013 0 Not Needed Not Reviewed Hatfield, Jay- Hatfield, Jay Prospecting 0.10 1 5/31/2013 0 Not Needed Not Reviewed Fine, Lonnie- Fine, Lonnie - Prospecting 0.10 1 5/31/2013 O Not Needed Not Reviewed Lindsay, Robert- Lindsay, Robert - Prospecting 0.10 1 5/31/2013 - 0 Not Needed Not Reviewed Ellman, Stuart J.- Ellman, Stuart J. - Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed - Leeds, Richard- Leeds, Richard - Prospecting 0.10 1 5/31/2013 0 Not Needed Not Reviewed Porter, Alex- Porter, Alex - Prospecting 0.10 1 5/31/2013 O Not Needed Not Reviewed Purcell, Thomas- Purcell, Thomas - Prospecting 0.10 1 5/31/2013 - 0 Not Needed Not Reviewed Salzman, Richard- Salzman, Richard - Prospecting 0-.10 1 5/31/2013 - - 0 Not Needed Not Reviewed Chou, Silas K.F.- Chou, Silas K.F. - Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed Singh, Dinaker- S-ingh, Dinaker - Prospecting 0.10 1 5/31/2013 - O Not Needed Not Reviewed - Ayres, Dillaway- Ayres, Dillaway - Prospecting 0.10 1 2/28/2013 EFTA01463583 - - - - 0 Not Needed Not Reviewed - Holterbosch, Heidi- Holterbosch, Heidi - Prospecting 0.10 1 5/31/2013 - - - - - 0 Not Needed Not Reviewed - Cline, Michael- Cline, Michael - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed - DeNatale, Robert- DeNatale, Robert - Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed Cannella, Adrienne - - Cannella, Adrienne - Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed Lichtenst-ein, Warren- Lichtenstein, Warren - Prospecting 0.10 1 5/31/2013 - - - - - 0 Not Needed Not Reviewed - Zelter, James- Zelter, James - Prospecting 0.10 1 2/2B/2013 - - - 0 Not Needed Not Reviewed Keynejad, Jamshid- Keynejad, Jamshid - Prospecting 0.10 1 2/28/2013 - - - - - 0 Not Needed Not Reviewed - Weiss, George- Weiss, George - Prospecting 0.10 1 2/2B/2013 - - - 0 Not Needed Not Reviewed Glickman, Donald- Glickman, Donald - Prospecting 0.10 1 5/31/2013 - - - - - 0 Not Needed Not Reviewed - Jain, Neil- Jain, Neil - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed Cummings, John- Cummings, John - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed Milch, David- Milch, David - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed Barry, Mitchell- Barry, Mitchell - Prospecting 0.10 1 5/31/2013 - - - - 0 Not Needed Not Reviewed Trafelet, Remy- Trafelet, Remy - Prospecting 0.10 1 -5/31/2013 - - - 0 Not Needed Not Reviewed - Siris Capital- Siris Capital Prospecting 0.10 1 8/31/2013 - - - 0 Not Needed Not Reviewed Husain, Fazle- Husain, Fazle Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed Kristoff, Mark- Kristoff, Mark Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed Cooper, Frederick- Cooper, Frederick Prospecting 0.10 1 5/31/2013 0 Not Needed Not Reviewed - Dinan, Jamie- Dinan, Jamie Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed - Shanken, Marvin- Shanken, Marvin - Prospecting 0.10 1 5/31/2013 - - - - 0 Not Needed Not Reviewed Siegel, Jerome- Siegel, Jerome - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed - Brandis, Steve- Brandis, Steve - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed Steller, Cary- Staller, Cary - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed Silvestri, Angelo- Silvestri, Angelo - Prospecting 0.10 1 5/31/2013 - - - - - 0 Not Needed Not Reviewed - Tablada, Maro- Tablada, Maro - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed - Bommer, Scott- Bommer, Scott - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed - Bhalla, Ajay- Bhalla, Ajay - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed - Burgstahler, David- Burgstahler, David - Prospecting 0.10 1 5/31/2013 - - - - - 0 Not Needed Not Reviewed - Silbert, Ben- Silbert, Ben - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed - Cushman, Rodney- Cushman, Rodney - Prospecting 0.10 1 5/31/2013 - 0 Not Needed Not Reviewed Packer, M-arc- P-acker, Marc - Prospecting 0.10 1 2-/28/2013 0 Not Needed Not Reviewed - W-ebster,-Steven- Webster, Steven - Prospecting 0.10 1 5/31/2013 - 0 Not Needed Not Reviewed Harvey, Berger- H-arvey, Berger - Prospecting 0.10 1 5/31/2013 0 Not Needed Not Reviewed Dodd, Ryan- Dodd, Ryan Prospecting 0.10 1 5/31/2013 0 Not Needed Not Reviewed Pensler, Sandy- Pensler, Sandy Prospecting 0.10 1 5/31/2013 0 Not Needed Not Reviewed Rose, Simon- Rose, Simon - Prospecting 0.10 1 5/31/2013 - 0 Not Needed Not Reviewed Stillman, Bruce- Stillman, Bruce - Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed Aston, Sherrell- Aston, Sherrell - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed Siadet, Barry- Siadat, Barry - Prospecting 0.10 1 2-/28/2013 - - - 0 Not Needed Not Reviewed - EFTA01463584 Kwon, OhSang- Kwon, OhSang - Prospecting 0.10 1 5/31/2013 - - - 0 Not Needed Not Reviewed Kimmel, Adam- Kimmel, Adam - Prospecting 0.10 1 5/31/2013 O Not Needed Not Reviewed Laffont, Philppe- Laffont, Philppe - Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed Kargman, Harry- Kargman, Harry - Prospecting 0.10 1 5/31/2013 O Not Needed Not Reviewed - Daniels, Joseph- Daniels, Joseph - Prospecting 0.10 1 5/31/2013 - 0 Not Needed Not Reviewed Overstrom, Gunnar- Overstrom, Gunnar - Prospecting 0.10 1 5/31/2013 0 Not Needed Not Reviewed Goodwin, Keirnan- Goodwin, Keirnan - Prospecting 0.10 1 5/31/2013 - - - - - 0 Not Needed Not Reviewed Stroll, Lawrence- Stroll, Lawrence - Prospecting 0.10 1 5/31/2013 - - 0 Not Needed Not Reviewed Bradley, Thomas- Bradley, Thomas - Prospecting 0.10 1 -5/31/2013 - 0 Not Needed Not Reviewed Staley, James- Staley, James - Prospecting 0.10 1 5/31/2013 O Not Needed Not Reviewed - Feldstein, Andrew- Feldstein, Andrew - Prospecting 0.10 1 2/28/2013 - - - 0 Not Needed Not Reviewed - EFTA01463585 Structured Lending Opportunity Name Customer Name Stage Probability Close Date Product Name Actu al Assets Airplane Loan Fitzgibbons, John Prospecting 0.10 11/15/2013 U.S. Structured Lend ing (Secured) 10000000 Airplane Finanching Tharani, Haresh Prospecting 0.10 11/12/2013 U.S. Structured Lend ing (Secured) 10000000 Black Family Partners, L.P.- Black Family Partners, L.P. Proposal 0.50 9/26/2013 U.S. Secured Lending (Lombard) 100000000 Murstein, Alvin- Murstein, Alvin Developed 0.25 9/12/2013 U.S. Secured Lending (Lombard) 50000000 Total for Structured Lending SUM(G2:G7)=170000000 EFTA01463586 Letter of Credit Opportunity Name Customer Name Stage Probability Close Date Product Name Actu al Assets Candover Investments- Candover Investments Prospecting 0.10 11/14/2013 U.S. Letter of Credit 10000000 Merit Energy- Merit Energy Prospecting 0.10 11/20/2013 U.S. Letter of Credit 1000 0000 Avista Avista Capital Partners Prospecting 0.10 8/19/2013 U.S. Letter of Credit 1000 0000 Lime Rock Lime Rock Partners Prospecting 0.10 9/16/2013 U.S. Letter of Credi t 10000000 Deerpath Capital Management- Deerpath Capital Management Developed 0.25 9/24/2013 U.S. Letter of Credit 30000000 HG Capital- HG Capital Prospecting 0.10 9/23/2013 U.S. Letter of Credit 1000 0000 Asset Management Purchase Lawrence, Bryan Developed 0.25 9/13/2013 U.S. Letter of Credit 20000000 EnCap Flatrock EnCap Flatrock Midstream Developed 0.25 10/10/2013 U.S. Letter of Credit 10000000 Line of Credit Cummings, Ian Proposal 0.50 9/12/2013 U.S. Letter of Credit 2500 0000 SCF Partners- SCF Partners Prospecting 0.10 11/18/2013 U.S. Letter of Credit 1000 0000 Medallion Loan Corrigan, Patton Developed 0.25 11/19/2013 U.S. Letter of Credi t 25000000 EnCap EnCap Investments Developed 0.25 10/16/2013 U.S. Letter of Credit 1000 0000 Viola, Vincent- Viola, Vincent Developed 0.25 11/7/2013 U.S. Letter of Credit 2500 0000 Credit Line Gottesman, Noam Developed 0.25 10/22/2013 U.S. Letter of Credit 5000 0000 Total for Letter of Credit SUM(G2:G17)=255000000 EFTA01463587 IA - RCM Opportunity Name Customer Name Stage Probability Close Date Product Name Actu al Assets Warren, Glenn- Warren, Glenn Developed 0.25 11/22/2013 U.S. IA - RCM 50000000 Total IA 50000000 EFTA01463588 Standard Mortgage Opportunity Name Customer Name Type Stage Probability Close Date Product Name Actual Assets Fitzgibbons, John- Fitzgibbons, John New Product - New Client Developed 0.25 10/17/2013 Standard Mortgage - Floating Arm 4000000 Meister, Todd- Meister, Todd New Product - New Client Developed 0.25 7/15/2013 Standard Mortgage - Floating Arm 7000000 Total Standard Mortgage SUM(H2:H6)=11000000 EFTA01463589 6200 Hollywood Deal Opportunity Name Customer Name Stage Probability Sales Credit Close Date Prod uct Name Actual Assets 6200 Hollywood Deal Schaefer, Marla Prospecting 0.10 1 7/30/2013 Real Estate Funds 5000000 6200 Hollywood Deal Meister, Robert A. Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 6200 Hollywood Deal Cummings, Ian Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 6200 Hollywood Deal Gerschel, Patrick Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 6200 Hollywood Deal SK Family Office Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 6200 Hollywood Deal Bronfman, Edgar Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 6200 Hollywood Deal Tharani, Haresh Prospecting 0.10 1 7/31/2013 Real Estate Funds 5000000 Total SUM(H2:H10)=35000000 EFTA01463590 PWM IA Opportunity Name Customer Name Stage Probability Sales Credit Close Date Prod uct Name Actual Assets Milton Academy- Milton Academy Developed 0.25 1 11/14/2013 PWM-IA Advisor Selec t 40000000 Total SUM(H2:H5)=40000000 EFTA01463591 Checking Opportunity Name Customer Name Stage Probability Close Date Product Name Actu al Assets Jain, Sunil- Jain, Sunil Developed 0.25 10/17/2013 Private Wealth Premium Check ing w/Interest 25000000 Deposits Bryant Jr., DonaId Developed 0.25 11/21/2013 Private Wealth Premi um Checking w/Interest 10000000 Southern Financial LLC- Southern Financial LLC Proposal 0.50 10/7/2013 Private Weal th Premium Checking w/Interest 100000000 Meister, Robert A.- Meister, Robert A. Developed 0.25 12/11/2013 Private Weal th Premium Checking w/Interest 25000000 Southern Trust Company, Inc.- Southern Trust Company, Inc. Proposal 0.50 10/22/2013 Private Wealth Premium Checking w/Interest 100000000 Bronfman, Edgar Bronfman, Edgar Developed 0.25 11/18/2013 Private Wealth Premium Check ing w/Interest 25000000 Murstein, Andrew- Murstein, Andrew Developed 0.25 11/13/2013 Private Weal th Premium Checking w/Interest 10000000 SE Family Office- SK Famil y Office Developed 0.25 11/19/2013 Private Weal th Premium Checking 25000000 Zaro, Andrew- Zaro, Andrew Proposal 0.50 10/24/2013 Private Wealth Premium Check ing 50000000 Total Checking SUM(G2:G13)=370000000 EFTA01463592 Hedge Funds Opportunity Name Customer Name Stage Probability Sales Credit Close Date Prod uCt Name Actual Assets KKR Deal Tharani, Haresh Prospecting 0.10 1 7/24/2013 Hedge Funds 5000 000 KKR Deal Jain, Sunil Prospecting 0.10 1 7/23/2013 Hedge Funds 5000 000 KKR Deal Milch, Neal Prospecting 0.10 1 7/24/2013 Hedge Funds 5000 000 KKR Deal Gaslow, Peter Prospecting 0.10 1 7/23/2013 Hedge Funds 5000 000 KKR Deal Britton, Charles Prospecting 0.10 1 7/15/2013 Hedge Funds 5000000 KKR Deal Cline, Michael Prospecting 0.10 1 7/24/2013 Hedge Funds 5000 000 KKR Deal Klein, Martin Prospecting 0.10 1 7/24/2013 Hedge Funds 5000 000 Total KKR SUM(H2:H11)=35000000 EFTA01463593 CIO Strategies Opportunity Name Customer Name Stage Probability Close Date Product Name Actu al Assets CIO Strategies Simon, Richard M. Developed 0.25 10/21/2013 Global Select - Equi ties/Balanced 25000000 Total CIO Strategies SUM(G2:G4)=25000000 EFTA01463594 Commercial Real Estate Opportunity Name Customer Name Stage Probability Close Date Product Name Actu al Assets Wilson, Welcome- Wilson, Welcome Prospecting 0.10 11/11/2013 Commercial Real Esta te 200000000 Commercial Mortgage Fitzgibbons, John Developed 0.25 10/22/2013 Commercial R eal Estate 5000000 Total SUM(G2:G8)=205000000 EFTA01463595 Brokerage Opportunity Name Customer Name Stage Probability Close Date Product Name Actu al Assets Epstein, Jeffrey- Epstein, Jeffrey Proposal 0.75 11/11/2013 Brokerage (C ommissions) 50000000 Petrides, George- Petrides, George Developed 0.25 11/10/2013 Brokerage (C ommissions) 10000000 Hyman, Ed- Hyman, Ed Developed 0.25 9/20/2013 Brokerage (Commissions) 2000 0000 Brokerage Account Cummings, Ian Developed 0.25 9/12/2013 Brokerage (Commissio ns) 10000000 Tharani, Haresh- Tharani, Haresh Developed 0.25 12/13/2013 Brokerage (Commissio ns) 30000000 Richardson, Julie G.- Richardson, Julie G. Proposal 0.50 11/15/2013 Brokerage (C ommissions) 30000000 Britton, Charles- Britton, Charles Developed 0.25 11/20/2013 Brokerage (C ommissions) 10000000 TOMS Capital LLC- TOMS Capital LLC Developed 0.25 10/22/2013 Brokerage (C ommissions) 50000000 Patriot Strategy Partners- Patriot Strategy Partners Proposal O.75 11/8/2013 Brokerage (Commissions) 25000000 Brokerage Account SK Family Office Proposal 0.50 9/17/2013 Brokerage (C ommissions) 25000000 Keenan, William Howard- Keenan, William Howard Developed 0.25 10/17/2013 Brokerage (C ommissions) 25000000 Gaslow, Lawrence- Gaslow, Lawrence Proposal 0.50 10/16/2013 Brokerage (C ommissions) 25000000 Gaslow, Peter- Gaslow, Peter Developed 0.25 11/11/2013 Brokerage (Commissions) 2500 0000 Gerschel, Patrick- Gerschel, Patrick Developed 0.25 11/5/2013 Brokerage (C ommissions) 15000000 Brody, Cary- Brody, Cary Proposal 0.75 11/12/2013 Brokerage (Commissions) 1000 0000 Brokerage Zaro, Andrew Developed 0.25 10/15/2013 Brokerage (Commissions) 1000 0000 Total Brokerage SUM(G2:G22)=370000000 ((5512D11C-5CC6-11CF-8D67-00AA00BDCE1D})(persistStream)(rldl) ((5512D11C-5CC6-11CF-8D67-00AA00BDCE1D})(persistStream}(rldl) ((5512D11C-5CC6-11CF-8D67-00AA00BDCE1D})(persistStream)(rldl) EFTA01463596